Compliance - Market Surveillance - Associate - Bengaluru
6 days ago
Job Description
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense, Compliance assesses the firms compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firms responses to regulatory examinations, audits and inquiries. You&aposll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.
Business Unit Overview
Markets Surveillance is part of the Securities team which provides compliance coverage and monitors trading activity of the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses. Primary function of team is to manage compliance and regulatory risk through the development and oversight of controls, and review of trading activity of these businesses.
Team helps identify and prioritize the compliance and regulatory risks across the Securities Division businesses and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include monitoring preventative front-end trading system controls and processes, developing surveillance reports and processes to be able to monitor the trading activity of the business, and create management information systems, where necessary. Post development, SMS performs reviews of such trading activity that is generated through the surveillance reports and provides oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls.
Team works closely with the Business, Line Compliance and Technology as well as other groups within the Firm.
Team has team members globally across the US, EMEA and Asia, and as such, aims to bring a global perspective and a globally coordinated approach as well as customized solutions to mitigate local regulatory risks.
Bangalore is an integral part of the Goldman Sachs global footprint that works seamlessly as a full and equal partner with Federation and Revenue areas of the firm to deliver banking, sales and trading, and asset management capabilities to clients around the world. Increased depths in capabilities and functional expertise have resulted in the creation of centres of excellence that drive many critical businesses around the globe.
The Compliance Division has established a dynamic team of professionals in Bangalore. The Bangalore team plays a central role in the divisions global strategy to provide solutions to the firms traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firms regulatory and reputational risk management program.
Functional Responsibilities
- Review and Oversight of Controls
- Review of surveillance exceptions with Business Personnel and Compliance Officers.
- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
- Oversight of exception reviews generated by detective controls.
- Identify enhancements to existing controls.
- Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
- Participate in periodic risk assessments. Development of Controls
- Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
- Apply a consistent approach across businesses, products and regions.
- Develop associated functional specifications and testing scripts.
- Develop and/or enhance systematic processes for escalating issues.
- Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
- Coordinate issues, findings and practices with colleagues across regions and/or divisions.
- Generation of management reports / Management information Systems.
- Reporting of exception reviews generated by detective controls.
Preferred Qualifications
- Inquisitive and proactive in identifying risks and proposing solutions.
- Good interpersonal skills and excellent written/oral communication skills.
- Ability to work with a variety of senior and junior people and build smooth working relationships.
- Highest attention to detail.
- Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
- Entrepreneurial inclination - ability to work alone and act as project manager.
- Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment.
- Ability to handle multiple tasks simultaneously and work under tight deadlines.
- Good understanding of Equity and Futures market.
About Goldman Sachs
At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.
We believe who you are makes you better at what you do. We&aposre committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at GS.com/careers.
Were committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://www.goldmansachs.com/careers/footer/disability-statement.html
The Goldman Sachs Group, Inc., 2023. All rights reserved.
Goldman Sachs is an equal opportunity employer and does not discriminate on the basis of race, color, religion, sex, national origin, age, veterans status, disability, or any other characteristic protected by applicable law.
-
Compliance Surveillance Analyst
5 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeJob DescriptionThe Electronic Communications Reviewer is responsible for reviewing electronic communications to ensure compliance with company policies and regulatory requirements.Key Responsibilities:Utilize e-communications surveillance systems to review messages for content, appropriateness, regulatory compliance, and the misuse of confidential...
-
Equities Compliance Professional
5 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeJob DescriptionWe are seeking an experienced professional to join our Markets Surveillance team as a Compliance Associate - Bengaluru.In this role, you will be responsible for reviewing and overseeing controls, conducting surveillance reviews, identifying enhancements to existing controls, and developing systematic processes for escalating issues.
-
Market Surveillance
4 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeOur division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firm s culture of compliance Compliance accomplishes these through the firm s enterprise-wide compliance risk management program As an independent control function and part of the firm s second line of defense Compliance...
-
Compliance Associate
5 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeAbout Our TeamThe Markets Surveillance team is part of the Securities division which provides compliance coverage and monitors trading activity of the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.Primary function of the team is to manage compliance and regulatory risk through the development and oversight of...
-
Market Surveillance Expert
2 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeJob DescriptionThis role will focus on reviewing and overseeing controls to ensure compliance with regulatory requirements. You will also be responsible for reviewing surveillance exceptions with business personnel and compliance officers, ensuring that surveillance reviews are being performed properly from a qualitative and timeliness perspective.Our team...
-
Regulatory Compliance Associate
3 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeCompany OverviewGoldman Sachs is a leading global investment banking, securities and investment management firm founded in 1869.Job DescriptionWe are seeking a highly skilled Regulatory Compliance Associate to join our Markets Surveillance team. As a member of this team, you will play a critical role in identifying and mitigating compliance and regulatory...
-
Compliance and Surveillance Professional
3 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeAbout Goldman SachsAt Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.Our TeamOur Markets Surveillance team is part of the Securities division, which provides compliance coverage and monitors trading activity of the Equities and FICC (Fixed Income, Currency and Commodities) Sales...
-
Bengaluru, Karnataka, India Goldman Sachs Full timeJob DescriptionJob DescriptionOur division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second...
-
Compliance Surveillance Specialist
4 days ago
Bengaluru, Karnataka, India Deutsche Bank Full timeJob Overview: We are seeking a skilled and experienced Compliance Surveillance Specialist to join our team in Bangalore, India. As a key member of our global compliance surveillance team, you will play a critical role in ensuring the effective implementation of our compliance policies and procedures.In this position, you will be responsible for assisting...
-
Surveillance Analyst Compliance
5 days ago
Bengaluru, Karnataka, India Deutsche Bank Full timeJob Title- Compliance Surveillance AnalystLocation- Bangalore IndiaRole DescriptionYou will be joining a team based in Bangalore India which performs a variety of surveillance tasks with respect to the banks global operations which will include E-Communication and voice surveillance elements across the Banks various line of business The role will also...
-
Bengaluru, Karnataka, India Goldman Sachs Full timeOur division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance...
-
Data Analyst, Compliance Surveillance
3 weeks ago
Bengaluru, Karnataka, India myGwork Full timeThis job is with Standard Chartered Bank, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly. Job Summary This is a team member role within Data and Analytics team under CFCC Group Compliance Surveillance function. The job holder will be mainly working...
-
Manager - Surveillance T500-16773
3 weeks ago
Bengaluru, Karnataka, India MUFG Full timeAbout Us:MUFG Bank, Ltd. is Japan's premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank's parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world's...
-
Manager - Surveillance T500-16773
3 days ago
Bengaluru, Karnataka, India MUFG Full timeAbout Us:MUFG Bank, Ltd. is Japan's premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank's parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the world's...
-
Regulatory Compliance Associate
2 days ago
Bengaluru, Karnataka, India Goldman Sachs Full timeAbout the RoleWe are seeking a highly motivated and detail-oriented Regulatory Compliance Associate to join our team. As a key member of our Market Surveillance team, you will be responsible for managing compliance and regulatory risk across our Securities Division businesses.The primary function of the team is to develop and oversee controls, and review...
-
AVP- L2 Surveillance
4 weeks ago
Bengaluru, Karnataka, India HSBC Full timeSome careers have more impact than others. If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be. HSBC is one of the largest banking and financial services organizations in the world, with operations in 62 countries and territories. We aim to be where the growth is, enabling businesses to...
-
Bengaluru, Karnataka, India Deutsche Bank Full timeJob DescriptionCommunication Surveillance, Compliance, AssociatePosition OverviewJob Title: Communication Surveillance, Compliance, AssociateLocation: Bangalore, IndiaRole DescriptionThe Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in...
-
Bengaluru, Karnataka, India Goldman Sachs Full timeOur division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance...
-
Manager - Surveillance T500-16773
15 hours ago
Bengaluru, Karnataka, India MUFG Full timeAbout Company: MUFG Bank, Ltd. is Japan's premier bank, with a global network spanning over 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. The Group aims to be the world's most trusted financial group through close...
-
Bengaluru, Karnataka, India Goldman Sachs Full timeOur division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance...
